Which Laws Apply to Broker-Dealers? Federal Laws? State Laws? Both? General Principles Leading to an Answer

TAMAR FRANKEL

BU Law emerita professor Tamar Frankel explains the law of preemption as it pertains to broker-dealers and their investor clients. She predicts, among other things, that either the clients will demand that broker-dealers adhere to a fiduciary duty, or else that states will impose that duty on them.

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Brewer v. Remington

Court: California Courts of Appeal

Docket: F076467(Fifth Appellate District)

Opinion Date: March 4, 2020

Judge: Meehan

Areas of Law: Medical Malpractice, Personal Injury

Plaintiff and her husband filed a medical malpractice action against Doctors Medical and others, including Defendant Remington, after plaintiff became paralyzed following carpel tunnel surgery. Remington performed the spinal decompression surgery on plaintiff after she became paralyzed, but she did not recover a substantial amount of function following the surgery. The Court of Appeal held that the trial court properly granted the motion for a new trial and affirmed the judgment. The court agreed with the trial court that granting summary judgment in favor of Remington on statute of limitations grounds constituted an error of law. The court wrote that the persistence of plaintiff's symptoms was not necessarily an appreciable manifestation of harm from Remington's treatment. The court held that there is a factual dispute regarding when plaintiff experienced appreciable harm that would have caused a reasonable person to be suspicious of Remington's wrongdoing.

Kos v. Lawrence + Memorial Hospital

Court: Connecticut Supreme Court

Docket: SC20256

Opinion Date: March 10, 2020

Judge: D’Auria

Areas of Law: Medical Malpractice

In this medical malpractice case, the Supreme Court affirmed the judgment of the trial court denying Plaintiffs' motion to set aside the jury's verdict in favor of Defendants, holding that the trial court improperly instructed the jury on the doctrine of acceptable alternatives, but the error was harmless, and Plaintiffs' request that the Court abolish the acceptable alternatives doctrine was denied. On appeal, Plaintiffs argued that the trial court improperly instructed the jury by including a charge on the acceptable alternatives doctrine because no evidence supported the charge. Alternatively, Plaintiffs asked the Court to abolish the acceptable alternatives doctrine. The Supreme Court affirmed the jury's finding that Plaintiffs failed to establish that Defendants had breached the standard of care, holding (1) the trial court improperly instructed the jury on the acceptable alternatives charge, but this instructional error was harmless; and (2) the trial court did not improperly limit Plaintiffs' allegations regarding breach of the standard of care in responding to the jury's request for clarification of the jury instructions.

Willeford v. Klepper

Court: Tennessee Supreme Court

Docket: M2016-01491-SC-R11-CV

Opinion Date: February 28, 2020

Judge: Bivins

Areas of Law: Constitutional Law, Health Law, Medical Malpractice, Personal Injury

The Supreme Court vacated the qualified protective order entered by the trial court in this case, holding that Tenn. Code Ann. 29-26-121(f) is unconstitutional as enacted to the limited extent that it divests trial courts of their inherent discretion over discovery and that the statute can be elided to make it permissive and not mandatory upon trial courts. Plaintiff filed this healthcare liability wrongful death lawsuit on behalf of the decedent alleging that Defendant's negligent treatment of the decedent resulted in the decedent's death. During discovery, Defendants filed a motion for a qualified protective order pursuant to section 29-26-121(f), which allows defense counsel to conduct ex parte interviews with patients' non-party treating healthcare providers in a healthcare liability lawsuit. In response, Plaintiff argued that the statute is unconstitutional because it deprives the trial court of its inherent authority over court proceedings. The trial court entered a written qualified protective order allowing the interviews. The Supreme Court vacated the qualified protective order, holding (1) section 29-26-121(f) impermissibly intrudes on the authority of the judiciary over procedural matters; and (2) the unconstitutional portion of the statute may be elided, and the statute as elided is constitutional.